EFTA01362649.pdf

KYC has not been done. ACO approval GRUPO TELEVISA, Xavier KCP ACO 1000051443 US S.A.B Avila US GM RED approval PAUL GARDNER Xavier KCP ACO 1009438472 GB ALLEN Avila US GM RED approval Confirmation required from regional leads that KYC was completed to the required standard. NCA required if KYC has not PRIVATE CLIENT been done. SERVICES (PWM Xavier KCP ACO 1000334995 GB _ ALEX BROWN) Avila US GM RED approval 2) New clients or not on the list so need to be checked in the first case if any of these are Red or Amber in CIB Team WM Client /Account Name dbcar ID ACO US ONLY AND ALL LOCATIONS NOT LISTED ON COMBINED KCP US AB Andrew Mathias 1009039376 Xavier Avila TAB KCP NOT LISTED ON COMBINED Armory Fund LDC 1000635214 Xavier Avila LATAM TAB NOT LISTED ON COMBINED KCP US Cascade Investment LLC 1009057698 Xavier Avila TAB NOT LISTED ON COMBINED Ka) US AB Chris Cline 1008596938 Xavier Avila TAB NOT LISTED ON COMBINED KCP US ENDURANCE VOYAGES, LLC 1008679777 Xavier Avila TAB NOT LISTED ON COMBINED KCP US Gapstow 1003715597 Xavier Avila TAB NOT LISTED ON COMBINED KCP US Himalaya Partners 1000039669 Xavier Avila TAB Daniel NOT LISTED ON COMBINED KCP US Karlin Asset Management 1000385586 Kaiser TAB KCP NOT LISTED ON COMBINED Kifenor SA 1000334995 Xavier Avila LATAM TAB NOT LISTED ON COMBINED KCP US Medley Partners 1003446816 Xavier Avila TAB NOT LISTED ON COMBINED KCP US Pacifica Companies LLC 1003926685 Xavier Avila TAB CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052151 CONFIDENTIAL SDNY_GM_00198335 EFTA01362649